0001437749-21-020865.txt : 20210824
0001437749-21-020865.hdr.sgml : 20210824
20210824165136
ACCESSION NUMBER: 0001437749-21-020865
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210820
FILED AS OF DATE: 20210824
DATE AS OF CHANGE: 20210824
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mickle Travis C
CENTRAL INDEX KEY: 0001638365
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36913
FILM NUMBER: 211202731
MAIL ADDRESS:
STREET 1: 2656 CROSSPARK ROAD
STREET 2: SUITE 100
CITY: CORALVILLE
STATE: IA
ZIP: 52241
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: KEMPHARM, INC
CENTRAL INDEX KEY: 0001434647
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 205894398
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1180 CELEBRATION BOULEVARD, SUITE 103
CITY: CELEBRATION
STATE: FL
ZIP: 34747
BUSINESS PHONE: (321) 939-3416
MAIL ADDRESS:
STREET 1: 1180 CELEBRATION BOULEVARD, SUITE 103
CITY: CELEBRATION
STATE: FL
ZIP: 34747
FORMER COMPANY:
FORMER CONFORMED NAME: KEMPHARM INC
DATE OF NAME CHANGE: 20080507
4
1
rdgdoc.xml
FORM 4
X0306
4
2021-08-20
0001434647
KEMPHARM, INC
KMPH
0001638365
Mickle Travis C
C/O KEMPHARM, INC.
1180 CELEBRATION BOULEVARD, SUITE 103
CELEBRATION
FL
34747
1
1
President & CEO
Common Stock
2021-08-24
4
J
0
96153
0
D
23354
D
Common Stock
2021-08-24
4
J
0
96153
0
A
96153
I
By Mickle Holdings LLC
Common Stock
2021-08-24
4
J
0
7701
0
D
0
I
By Travis C. Mickle & Christal M.M. Mickle TRS UA 4-30-09 Mickle Family Trust, co-trustee
Common Stock
2021-08-24
4
J
0
7701
0
A
31055
D
Common Stock
2021-08-24
4
J
0
1341
0
D
0
I
By Travis C. Mickle & Christal M.M. Mickle TRS UA 4-30-09 TCM Family Trust, co-trustee
Common Stock
2021-08-24
4
J
0
1341
0
A
32396
D
Common Stock
2021-08-24
4
J
0
3125
0
D
29271
D
Common Stock
2021-08-24
4
J
0
6287
0
D
0
D
Common Stock
15242
I
By Christal M.M. Mickle 2015 Gift Trust dtd 7/21/15, as trustee
Common Stock
9824
I
By Travis C. Mickle 2015 Dynasty Trust dtd 7/21/15, Christal M.M. Mickle as trustee
Common Stock
1034
I
By Mickle Investments LLC
Stock Option (right to buy)
9.06
2021-08-20
4
A
0
263743
0
A
2031-08-19
Common Stock
263743
263743
D
The Reporting Person is the sole manager member of Mickle Holdings, LLC.
Transfer of shares held in dissolved trusts to the Reporting Person.
Transfer of shares to Christal M.M. Mickle.
Common stock that was previously held jointly by the Reporting Person and Christal M.M. Mickle, and is now held solely by Ms. Mickle.
The Reporting Person is the sole manager member of Mickle Investments, LLC.
Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on August 20, 2022 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant.
/s/ Travis C. Mickle
2021-08-24